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Stephen Caruso, CFA

Stephen Caruso, CFA

Chief Investment Officer

Stephen began his career at Caruso McLean and Company, Inc. in 1995. He graduated from Bucknell University with a bachelor of science in mathematics. Stephen was awarded the Chartered Financial Analyst designation in 2009. The CFA curriculum and examinations set a globally recognized program for measuring the competence and integrity of financial analysts, portfolio managers and investment advisors. 

Stephen’s goal is to partner with clients and develop long-lasting relationships. He believes the foundation of client relationships is careful listening. He wants to assist clients in outlining portfolio goals and in formulating investment risk and return objectives. Stephen is motivated by the challenge of creating, implementing and monitoring an investment program to achieve goals for each of his unique clients.

Stephen has a strong focus on giving back through community service and serves as the Treasurer for Hospice and Palliative Care, along with sitting on the board for both The Arc Oneida-Lewis Chapter and the Presbyterian Homes Foundation.

Stephen lives in New Hartford with his wife Stacy and their two children. Outside of the office, Stephen enjoys spending time with his boating and fishing on Cayuga Lake throughout the summer. For the past 10-years, he has volunteered as the coach of the New Hartford youth wrestling team is being inducted into the Section III Wrestling Hall of Fame in late 2018. 


  • Series 7 General Securities
  • Series 24 General Securities Principal
  • Series 63 State Uniform Securities
  • Series 66 Investment Advisor
  • Life Insurance New York